James D. Osborne

BASON ASSET MANAGEMENT

Lakewood, CO 80226

Some features on this profile are disabled

CRD#: 4907938

Professional summary

James Daniel Osborne, CFP®, who also goes by James D Osborne, is a registered financial advisor currently at BASON ASSET MANAGEMENT located in Lakewood, Colorado.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. James has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James D Osborne

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Daniel Osborne's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

November 23, 2012 - Present

BASON ASSET MANAGEMENT

Office #1: 355 S. Teller St. Suite 200, Lakewood, CO 80226

RIA

CRD#: 165450

Lakewood, CO

Past

March 3, 2011 - September 17, 2012

M. J. SMITH AND ASSOCIATES

RIA

CRD#: 110919

GREENWOOD VILLAGE, CO

Past

July 19, 2007 - September 18, 2012

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

GREENWOOD VILLAGE, CO

Past

March 13, 2007 - June 14, 2007

PACIFIC WEST FINANCIAL CONSULTANTS INC

RIA

CRD#: 108728

RENTON, WA

Past

December 1, 2005 - June 14, 2007

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

ENGLEWOOD, CO

Past

February 4, 2005 - November 21, 2005

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BASON ASSET MANAGEMENT

BASON ASSET MANAGEMENT | BASON ASSET MANAGEMENT LLC

CRD#: 165450 / SEC#: 801-107297

RIA

Registered Investment Advisory firm - (2/12/2016 Approved)

Colorado

Registered Investment Advisory firm - (12/1/2016 Terminated)

Texas

Registered Investment Advisory firm - (11/28/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(11/23/2012)

IAR

Nebraska
(5/15/2019)

IAR

Texas
(5/14/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/23/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/12/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/12/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/3/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BASON ASSET MANAGEMENT

BASON ASSET MANAGEMENT | BASON ASSET MANAGEMENT LLC

CRD#: 165450 / SEC#: 801-107297

RIA

Registered Investment Advisory firm - (2/12/2016 Approved)

Colorado

Registered Investment Advisory firm - (12/1/2016 Terminated)

Texas

Registered Investment Advisory firm - (11/28/2016 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

355 S. Teller St. Suite 200, Lakewood, CO 80226

Mailing Address

Phone number

(720) 446-8555

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BASON ADV PART 2A ANNUAL AMENDMENT 01.17.24 (2/19/2025)

Regulatory assets under management

Total Number of Accounts	780
AUM (Assets Under Management)	$ 700,595,332

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Craig Johlfs

LPL FINANCIAL LLC

IAR

Greenwood Village, CO

Ralph Jones

OPPENHEIMER & CO. INC.

IAR

Denver, CO

Lorie Jones

TANDEM FINANCIAL, LLC

IAR

GREENWOOD VILLAGE, CO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James D. Osborne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Daniel Osborne's CRS (Customer Relationship Summary).

Certified licenses

Experience

M. J. SMITH AND ASSOCIATES

RAYMOND JAMES FINANCIAL SERVICES, INC.

PACIFIC WEST FINANCIAL CONSULTANTS INC

PACIFIC WEST SECURITIES, INC.

BOFA DISTRIBUTORS, INC.

Primary Firm SEC Registration

BASON ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 2/23/2007

Series 63

Date: 3/12/2005

Series 7

Date: 1/12/2006

Series 6

Date: 2/3/2005

Current Firm

BASON ASSET MANAGEMENT

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BASON ASSET MANAGEMENT

TRUST BUT VERIFY

Similar Advisors